NIH Grants Policy Statement   (10/98)
Table of Contents

NIH Grants Policy Statement (10/01/1998) - Effective for all NIH grants and cooperative agreements with budget periods beginning on October 1, 1998 through February 28, 2001. See 03/01 NIHGPS and 12/03 NIHGPS for subsequent budget periods. Download or View the complete 10/98 NIH GPS in Adobe Acrobat PDF format (size = 1MB). See 10/21/1998 NIH Guide for description and notable changes since the 1994 PHS GPS. Change to the NIHGPS - As announced in the 12/18/98 NIH Guide for Grants and Contracts, the definition of "Significant Rebudgeting" has been clarified. A revised Page II-53 is available in Adobe Acrobat format. Introduction - NIH Grants Policy Statement Part I: NIH Grants: General Information Glossary Definitions Acronyms and Abbreviations The National Institutes of Health as a Grant-Making Organization Roles and Responsibilities NIH and HHS Staff Grantee Staff Application and Review Processes Support Mechanisms Eligibility Types of Applications Funding Opportunities Application Submission Application Forms Table 1: Required Forms for Competing Applications Application Receipt Points and Deadlines Legal Implication of Application Confidentiality of Information (Proprietary Information) The Peer Review Process Initial Review National Advisory Council or Board Review Appeals of Initial Scientific Review Disposition of Applications Sources of Information About NIH's Grants Process and Programs Part II: Terms and Conditions of NIH Grant Awards Completing the Preaward Process Funding Principles Eligibility Cost Analysis and Assessment of Management Systems Overview of Terms and Conditions Public Policy Requirements and Objectives Table 2: Public Policy Requirements and Objectives Ethical and Safe Conduct in Science and Organizational Operations Conflict of Interest Debarment and Suspension Drug-Free Workplace Health and Safety Guidelines Limitation on Use of Funds for Promotion or Legalization of Controlled Substances Lobbying Misconduct in Science Nondelinquency on Federal Debt Recombinant DNA and Institutional Biosafety Committees Restriction on Distribution of Sterile Needles Seat Belt Use Smoke-Free Workplace Requirements Affecting the Rights and Welfare of Individuals as Research Subjects, Patients, or Recipients of Services Ban and Human Embryo Research and Cloning Confidentiality of Patient Records Controlled Substances Human Subjects Investigational New Drug Applications Pro-Children Act of 1994 Protection of Research Subjects' Identity Research on Transplantation of Fetal Tissue Animal Welfare Requirements for Inclusiveness in Research Design Inclusion of Women and Minorities as Subjects in Clinical Research Inclusion of Children as Subjects in Clinical Research Civil Rights Age Discrimination Act of 1975 Civil Rights Act of 1964 Education Amendments of 1972 Rehabilitation Act of 1973 Environmental Impact and Other Requirements Related to Acquisition, Alteration and Renovation, and Construction of Facilities Availability of Information Acknowledgment of Federal Funding The Freedom of Information Act The Privacy Act Other Public Policy Requirements and Objectives Metric System Military Recruiting and Reserve Officer Training Corps Program Access to Institutions of Higher Education Year 2000 Compliance The Notice of Grant Award Funding Budget Additional Terms and Conditions Payment SMARTLINK II/ACH CASHLINE/ACH Monthly Cash Request Interest Earned on Advances of Grant Funds Cost Considerations General The Cost Principles Direct Costs and Facilities and Administrative (Indirect) Costs Cost Transfers, Overruns, and Accelerated and Delayed Expenditures Allocation of Costs and Closely Related Work Applicable Credits Services Provided by Affiliated Organizations Allowability of Costs/Activities Selected Items of Cost Administrative Requirements Changes in Project and Budget Prior Approval Requirements Expanded Authorities Requests for Approval Noncompeting Continuation Awards Streamlined Noncompeting Award Process Availability of Research Results: Publications and Intellectual Property Rights, Including Unique Research Resources Rights in Data (Publication and Copyrighting) Unique Research Resources Inventions and Patents Management Systems and Procedures Financial Management System Standards Program Income Sale of Real Property, Equipment, and Supplies Reporting of Program Income Royalties and Licensing Fees from Copyrights, Inventions, and Patents Property Management System Standards Real Property Equipment and Supplies Exempt Property Nonexempt Property Revocable License Procurement System Standards and Requirements General Approval Requirements Contracting With Small Businesses, Minority-Owned Firms, and Women's Business Enterprises Monitoring Reporting Progress Reports as Part of Noncompeting Continuation Requests Financial Reports Unobligated Balances and Actual Expenditures Invention Reporting Report to the Office of Research Integrity Lobbying Disclosure Record Retention and Access Audit Enforcement Actions Modification of the Terms of Award Suspension, Termination, and Withholding of Support Other Enforcement Actions Recovery of Funds Debt Collection Closeout Final Reports Final Financial Status Report Final Progress Report Final Invention Statement and Certification Grant Appeals Procedures Part III: Terms and Conditions for Specific Types of Grants, Grantees, and Activities Construction Grants Eligibility Review and Approval Public Policy Requirements and Objectives The National Environmental Policy Act of 1969 Public Disclosure Flood Insurance Historic Properties and Archeological Sites Intergovernmental Review Under Executive Order 12372 Metric System Relocation Assistance and Real Property Acquisition Other Public Policy Requirements Other Design Requirements for NIH-Assisted Construction Elimination of Architectural Barriers to the Physically Handicapped Guidelines for Design and Construction of Hospital and Healthcare Facilities (1996-97) American Society of Heating, Refrigeration, and Air Conditioning Engineers Handbook-HVAC Applications (1995) Seismic Safety for Federally Assisted Construction Life Safety Code Standards on Fire Protection for Laboratories Using Chemicals Prudent Practices for Safety in Laboratories (1995) National Sanitation Foundation Standard No. 49 for Class II (Laminar Flow) Biohazard Cabinetry (1992) International Standard Plumbing Code (1996) Industrial Ventilation: A Manual of Recommended Practice (1998) Health Care Facilities Handbook (1997) Standards for Nonflammable Medical Gas Systems National Electric Code Laboratory Ventilation Workbook (1994) Funding Matching Allowability of Costs/Activities Allowable Costs/Activities Unallowable Costs/Activities Procurement Requirements for Construction Services Under NIH Construction Grants General Construction Management Services Design-Build Services Equal Employment Opportunity, Labor Standards, and Other Contract Requirements Equal Employment Opportunity Non-Segregated Facilities Labor Standards Contract Work Hours and Safety Standards Act Liquidated Damages Disposition of Unclaimed Wages Administrative Requirements Prior Approval Requirements Construction Grants Alteration and Renovation Projects Under Nonconstruction Grants Real Property Management Standards General Use and Disposition Real Estate Appraisals Notice of Federal Interest Insurance Requirements Exhibit 1: Alteration and Renovation Cost Estimate Outline National Research Service Awards Applicability I. General A. Background B. Nondiscrimination II. Individual National Research Service Awards (Fellowships) A. General 1. Eligibility a. Research Areas b. Research Training Program 2. Degree Requirements a. Predoctoral b. Postdoctoral c. Senior Fellowsl 3. Citizenship 4. Sponsorship a. General b. Foreign Sponsorship 5. NIH Employees 6. Individuals on Active Military Duty B. Application and Receipt Dates 1. Application 2. Concurrent Applications 3. Application Availability 4. Receipt Dates C. Review D. Notification of Action E. Period of Support 1. Physicians/Clinicians 2. Interruptions (Break-In-Service) 3. Other Exceptions F. Initiation of Support 1. Process 2. Payment a. Domestic (1) Domestic, Non-Federal (2) Federal Laboratories b. Foreign G. Financial Provisions 1. Stipends a. Levels (1) Predoctoral (2) Postdoctoral (3) Senior Fellows b. Stipend Supplementation c. Compensation d. Concurrent Benefits e. Educational Loans or GI Bill f. Taxability of Stipends g. Form 1099 h. Employee Benefits 2. Other Costs a. Institutional Allowance (1) Allowable Costs for Sponsoring Institutions (a) Non-Federal Public and Private Non-Profit Institutions (b) Federal Laboratories (c) For-Profit Institutions (d) Foreign Institutions (2) Guidelines (a) Health Insurance (b) Travel (c) Extraordinary Costs (3) Expenditure b. Tuition and Fees c. Travel to Foreign Training Sites H. Reporting Procedures 1. Activation Notice 2. Payback Agreement 3. Termination Notice 4. Consecutive Support I. Progress Reports, Financial Status Reports, Changes in the Project 1. Progress Reports 2. Financial Status Report 3. Changes in the Project J. Other Terms and Conditions 1. Leave a. Vacations and Holidays b. Sick Leave and Other Leave c. Parental Leave d. Unpaid Leave 2. Termination 3. Publications 4. Copyright 5. Patents 6. Disposition of Professional Fees 7. Human Subjects/Animal Welfare/Recombinant DNA a. Human Subjects b. Vertebrate Animals c. Recombinant DNA III. Institutional National Research Service Awards (Training Grants) A. General 1. Eligibility a. Applicant Eligibility b. Research Areas c. Research Training Program 2. Degree Requirements a. Predoctoral Training b. Postdoctoral Training c. Short-Term Research Training d. Prebaccalaureate Training 3. Citizenship B. Applications and Receipt Dates 1. Application 2. Receipt Dates C. Review 1. Overall 2. Short-Term Research Training Positions 3. Minority Recruitment Plan 4. Training in the Responsible Conduct of Research Training D. Notification of Action E. Period of Support 1. Institutional Grants 2. Trainees 3. NRSA Limitations a. Physicians/Clinicians b. Interruptions (Break-in-Service) c. Other Exceptions F. Initiation of Support G. Financial Provisions 1. Stipends a. Levels (1) Prebaccalaureate (2) Predoctoral (3) Postdoctoral b. Stipend Supplementation c. Student Compensation d. Concurrent Benefits e. Educational Loans or GI Bill f. Taxability of Stipends g. Form 1099 h. Employee Benefits 2. Other Direct Costs a. Training-Related Expenses b. Trainee Tuition and Fees c. Trainee Travel Costs d. Short-term 3. Rebudgeting of Funds a. Trainee-Related Expenses b. Trainee Costs c. Trainee Travel 4. Expenditure of Funds 5. Facilities and Administrative Costs 6. Program Income H. Reporting Procedures 1. Statement of Appointment (Form PHS 2271) a. Grantee Submission b. Interim Revisions 2. Payback Agreement (Form PHS 6031) 3. Termination Notice (Form PHS 416-7) 4. Consecutive Support I. Progress Reports, Financial Status Reports, and Changes in the Project 1. Progress Reports 2. Financial Status Report 3. Changes in the Project J. Other Terms and Conditions 1. Leave a. Vacations and Holidays b. Sick Leave and Other Leave c. Parental Leave d. Unpaid Leave 2. Termination 3. Publications 4. Copyright 5. Patents 6. Disposition of Professional Fees 7. Human Subjects/Animal Welfare/Recombinant DNA a. Human Subjects b. Vertebrate Animals c. Recombinant DNA IV. Payback Reporting Requirements for Recipients A. Purpose and Background B. Implementation 1. Prior to August 13, 1981 2. Effective August 13, 1981 3. Effective June 10, 1993 (NIH Revitalization Act) a. Predoctoral Recipients b. Postdoctoral Recipients c. Short-term Training C. Payback 1. Service Payback a. Definitions (1) Research (2) Teaching (3) Health-Related b. Time Commitment c. Initiation of Payback Service (1) Support Received Prior to NIH Revitalization Act (2) Support Received Post-NIH Revitalization Act d. Source of Funding e. Timing of Service Obligation 2. Alternative Service 3. Financial Payback a. Policy and Principal Calculation b. Interest & Interest Rate Calculation 4. Extensions of Payback a. Extensions of the Two-Year Period to Initiate Payback b. Basis for Extensions c. Extension of Complete Payback Service 5. Waiver a. Policy b. Waiver Criteria D. Certification of Payback Activities 1. Annual Payback Activities Certification (Form PHS 6031-1) a. Annual Certification b. Change of Address 2. Breaks in NRSA Support 3. National Health Service Corps Appendix 1: NRSA Financial Provisions Appendix 2: Receipt, Review and Award Schedule Appendix 3: NRSA Forms Support of Scientific Meetings (Conference Grants) General Applicability Definitions Eligibility Application Public Policy Requirements and Objectives Review Funding Allowability of Costs/Activities Administrative Requirements Intellectual Property: Publications and Copyright Reporting and Record Retention Progress Report Expenditure Report Consortium Agreements General Administrative and Other Requirements Public Policy Requirements and Objectives Application of Cost Principles Approval Authorities Tangible Personal Property Exempt Property Nonexempt Property Intellectual Property Program Income Audit Written Agreement Awards to Foreign Institutions, International Organizations, and Domestic Grants with Substantial Foreign Components General Eligibility Review Public Policy Requirements and Objectives Funding and Payment Allowability of Costs/Activities Administrative Requirements Changes in Project and Budget Changes in Scope or Objectives Change of Grantee Organization Audit Reporting and Record Retention Grants to Federal Institutions and Payments to (or on Behalf of) Federal Employees Under Grants General Eligibility Payment Allowability of Costs/Activities Administrative Requirements Equipment Accountability Procurement Requirements Intellectual Property: Inventions and Patents Grants to For-Profit Organizations General Eligibility Allowability of Costs Cost Principles Profit or Fee Independent Research and Development Costs Facilities and Administrative Costs (Indirect Costs) Administrative Requirements Intellectual Property: Inventions and Patents Program Income Operating Authorities Audit Small Business Innovation Research and Small Business Technology Transfer Programs Eligibility Public Policy Requirements and Objectives Allowability of Costs and Fee Profit or Fee Facilities and Administrative Costs (Indirect Costs) Administrative Requirements Market Research Program Income Intellectual Property: Rights in Data, and Inventions and Patents Research Patient Care Costs General Definitions Policy Allowability of Costs Computation of Research Patient Care Costs Facilities and Administrative Costs Special Procedures for Certain Hospitals Grantees Consortium Participants/Contractors under Grants Financial Responsibilities Program Requirements Part IV: Points of Contact Master List of Links to Documents External to the NIHGPS [ Search Policy Statement ]    [ Table of Contents ]    [ Previous Document ]    [ Next Document ]